DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
3•••• A•••• M••••••••• L•
Latest filing Apr 7, 2026
First filing on the tape Nov 20, 2015 · 43 filings
SEC status approved since Dec 28, 2015
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$1.1B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
24
12 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$2.0B as of Apr 7, 2026
Mar 21, 2016$109M then
HNW client RAUM$679M as of Apr 7, 2026
Mar 30, 2018$237M then
State-registered IARs (5.B.3)12 as of Apr 7, 2026
Mar 21, 20167 then
Employees (5.A)24 as of Apr 7, 2026
Mar 21, 20169 then
Private funds1 as of Mar 30, 2020
Mar 21, 20162 then
RAUM +17% over the last fiscal year+14% a year over threeIARs 12 to 12offices 5 to 8
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $885,067derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $392M, 503 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$679M35%
- Investment companies$638M33%
- Individuals$445M23%
- Charitable organizations$85.2M4.4%
- Corporations and businesses$65.9M3.4%
- Pension and profit-sharing plans$40.3M2.1%
- Individual clients
- 1,133reported
- HNW clients
- 356reported
- Pension plan clients
- 9reported
- Charitable clients
- 14reported
- Accounts
- 2,207reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $392M for 503 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.58 fund_share=0.33 institutional_share=0.06 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E•••• P••••••• | Boston, Ma | Jan 20, 2016 | 23 y | 3 |
| S•••••• J••••• C•••••••• | Naples, Fl | Jan 20, 2016 | 35 y | 2 |
| D••••• G• F•••• I•• | Boston, Ma | Jan 20, 2016 | 28 y | 2 |
| M••••• •••• C•••••• | Surfside, Fl | Feb 22, 2016 | 10 y | 0 |
| P•••• B••••• M••••••Certified Financial Planner | Boston, Ma | Feb 29, 2016 | 30 y | 1 |
| A••••• E•••••••• K••• | Louisville, Ky | Mar 25, 2016 | 17 y | 3 |
| E••• L••••••• B•••••••••Chartered Financial Analyst | Naples, Fl | May 3, 2017 | 17 y | 5 |
| J••••••• B•••• C••••• | Southport, Nc | Dec 9, 2020 | 31 y | 0 |
| A••••• C•••••••• P••••••Certified Financial Planner | Naples, Fl | Nov 17, 2022 | 12 y | 1 |
| L••••••• L•••••• J•••• | Boston, Ma | Nov 30, 2022 | 20 y | 4 |
| A•••••• K•••• | Naples, Fl | Jun 30, 2023 | 13 y | 4 |
| R••• S••••• C••••••• | Naples, Fl | Feb 16, 2024 | 13 y | 2 |
| K•••• P•••••• K•••• | Naples, Fl | Sep 9, 2024 | 23 y | 3 |
| K•••• J••••• L••• | Naples, Fl | Feb 14, 2025 | 11 y | 0 |
| T••••• G••••••• | Scottsdale, Az | Sep 22, 2025 | 26 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• G••••••• from O•••• P••• A•••• M••••••••• L••Sep 22, 2025 · Other
- K•••• P•••••• K•••• from T•••• A•••• M•••••••••Sep 9, 2024 · Other
- R••• S••••• C••••••• from T•••• A•••• M•••••••••Feb 16, 2024 · Other
- A•••••• K•••• from T• A••••••••• I•••Jun 30, 2023 · Other
- L••••••• L•••••• J•••• from C•••••• S••••• I••••••••• A•••••••• I••Nov 30, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• C•••••••• P•••••• from W•••••• C•••••• M••••••••• L••Nov 17, 2022 · RIA to RIA
- E••• L••••••• B••••••••• from B••••••• F•••••••• P••••••• L••May 3, 2017 · Other
- A••••• E•••••••• K••• from R•••• C••••••• L••Mar 25, 2016 · Other
- P•••• B••••• M•••••• from G•••••• I••••••••• A•••••••• L••Feb 29, 2016 · Other
- S•••••• J••••• C•••••••• from W•••••••• I••••••••• M••••••••• I•••Jan 20, 2016 · Other
- R••••• E•••• P••••••• from W•••••••• I••••••••• M••••••••• I•••Jan 20, 2016 · Other
- D••••• G• F•••• I•• from W•••••••• I••••••••• M••••••••• I•••Jan 20, 2016 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3•••• G••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $152M | 65 | Mar 21, 2016 |
| 3•••• G••••• O••••••••• N••••• F•••• L•no longer reported | Hedge Fund | $12.8M | 29 | Mar 21, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• E•••• L••••••• · Limited Partner / Deputy Chief Investment Officercontrolsince 01/2022 · owns 5% to 10%
- C••••••• M•••••• •••• · President/Limited Partner I••••••••• Trust Fbo C••••• B•••••••••controlsince 01/2017 · owns 10% to 25%
- C•••••• J•••••••• B•••• · Limited Partner I••••••••• Trust Fbo C•••••••• A••• I••••••••• Trust Fbo C••••• B•••••••••controlsince 01/2024 · owns less than 5%
- C••••••••• S••••••• J••••• · Chief Executive Officer / Limited Partnercontrolsince 11/2015 · owns 25% to 50%
- F•••• I••• D•••••• G• · Limited Partner / Chief Investment Strategist I••••••••• Trust Fbo C•••••••• A•••controlsince 11/2015 · owns 10% to 25%
- J••••• L•••••••• L•••••• · Limited Partner, Head Tradercontrolsince 01/2026 · owns less than 5%
- K•••• A•••••• E•••••••• · Limited Partner, Head Of Operations & Client Servicecontrolsince 01/2026 · owns less than 5%
- M••••••••• K•••••• M••••••• · Chief Compliance Officer / Chief Operating Officer / Limited Partnercontrolsince 11/2015 · owns 5% to 10%
- P•••••••• R•••••• E•••• · Chief Technical Officer / Limited Partnercontrolsince 11/2015 · owns 10% to 25%
- C••••••• M•••••• •••• · Officercontrolsince 10/2022 · owns F of 3•••• A•••• M••••••••• G•••••• P••••••• L••
- C••••••••• P•••• J••••• · Trusteecontrolsince 02/2016 · owns F of S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C••••• B•••••••••
- C••••••••• P•••• J••••• · Trusteecontrolsince 02/2016 · owns F of S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C•••••••• A•••
- C••••••••• S••••••• J••••• · Member & Managercontrolsince 12/2015 · owns 75% or more of 3•••• A•••• M••••••••• G•••••• P••••••• L••
- F••• M••••••• L•• · Trusteecontrolsince 02/2016 · owns F of S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C•••••••• A•••
- F••• M••••••• L•• · Trusteecontrolsince 02/2016 · owns F of S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C••••• B•••••••••
- F•••• I••• D•••••• G• · Officercontrolsince 12/2015 · owns F of 3•••• A•••• M••••••••• G•••••• P••••••• L••
- P•••••••• R•••••• E•••• · Officercontrolsince 12/2015 · owns F of 3•••• A•••• M••••••••• G•••••• P••••••• L••
- C••••••••• P•••• J••••• · Trustee, S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C••••• B•••••••••since 02/2016 · owns 5% to 10%
- F••• M••••••• L•• · Trustee, S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C•••••••• A•••since 02/2016 · owns 5% to 10%
Entity owners
- 3•••• A•••• M••••••••• · G•••••• Partnerdirect · owns less than 5%
- 3•••• A•••• M••••••••• G•••••• P••••••• L•• · G•••••• Partnerdirect · owns less than 5%
- S•••••• J• C•••••••• 2••• · Limited Partnerdirect · owns 5% to 10%
- S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C•••••••• A••• · Limited Partnerdirect · owns 5% to 10%
- S•••••• J• C•••••••• 2••• I••••••••• T•••• F•• C••••• B••••••••• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 12 | 1 | 0 | ||
| Boston, Ma | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA13 employees
- Los Angeles, CA1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 7, 2026C••••••••• P•••• J••••• (TRUSTEE) left Schedule A between the filings of 2024-03-28 and 2026-04-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 7, 2026K•••• A•••••• E•••••••• (LIMITED PARTNER, HEAD OF OPERATIONS & CLIENT SERVICE) appeared on Schedule A between the filings of 2024-03-28 and 2026-04-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 7, 2026F••• M••••••• L•• (TRUSTEE) left Schedule A between the filings of 2024-03-28 and 2026-04-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 7, 2026J••••• L•••••••• L•••••• (LIMITED PARTNER, HEAD TRADER) appeared on Schedule A between the filings of 2024-03-28 and 2026-04-07peers: independent wealth managers, $1B to $5B (1,362)
- office count surgeChange between filings · filing Apr 7, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-04-07; the peer median change was 0.0% (379 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2,211 to 2,207Oct 14, 2025 to Mar 30, 2026
- Advisory activities · 4 to 5Oct 14, 2025 to Mar 30, 2026
- BD registered reps · 0 to 10Oct 14, 2025 to Mar 30, 2026
- Charity clients · 12 to 14Oct 14, 2025 to Mar 30, 2026
- Corporate clients · 14 to 12Oct 14, 2025 to Mar 30, 2026
- HNW clients · 320 to 356Oct 14, 2025 to Mar 30, 2026
- Individual clients · 1,011 to 1,133Oct 14, 2025 to Mar 30, 2026
- Pension plan clients · 13 to 9Oct 14, 2025 to Mar 30, 2026
- Assets in custody · $310M to $392MOct 14, 2025 to Mar 30, 2026
- Employees · 21 to 24Oct 14, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 51-100Oct 14, 2025 to Mar 30, 2026
- Other offices · 5 to 8Oct 14, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.9BOct 14, 2025 to Mar 30, 2026
- HNW RAUM · $691M to $679MOct 14, 2025 to Mar 30, 2026
- Individual RAUM · $333M to $445MOct 14, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.2M to $8.4MOct 14, 2025 to Mar 30, 2026
- Pension RAUM · $238M to $40.3MOct 14, 2025 to Mar 30, 2026
- RAUM · $1.7B to $2.0BOct 14, 2025 to Mar 30, 2026
- Accounts · 2,216 to 2,211Nov 14, 2024 to Mar 31, 2025
- HNW clients · 273 to 320Nov 14, 2024 to Mar 31, 2025
- Individual clients · 1,203 to 1,011Nov 14, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 13Nov 14, 2024 to Mar 31, 2025
- Assets in custody · $342M to $310MNov 14, 2024 to Mar 31, 2025
- Employees · 19 to 21Nov 14, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Nov 14, 2024 to Mar 31, 2025
- Other offices · 4 to 5Nov 14, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3B to $1.7BNov 14, 2024 to Mar 31, 2025
- HNW RAUM · $615M to $691MNov 14, 2024 to Mar 31, 2025
- Individual RAUM · $463M to $333MNov 14, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $3.2MNov 14, 2024 to Mar 31, 2025
- Pension RAUM · $93.0M to $238MNov 14, 2024 to Mar 31, 2025
- RAUM · $1.3B to $1.7BNov 14, 2024 to Mar 31, 2025
- Accounts · 2,248 to 2,216Apr 3, 2023 to Mar 28, 2024
- Advisory employees · 11 to 12Apr 3, 2023 to Mar 28, 2024
- Corporate clients · 13 to 14Apr 3, 2023 to Mar 28, 2024
- HNW clients · 281 to 273Apr 3, 2023 to Mar 28, 2024
- Individual clients · 1,182 to 1,203Apr 3, 2023 to Mar 28, 2024
- Pension plan clients · 17 to 14Apr 3, 2023 to Mar 28, 2024
- Assets in custody · $304M to $342MApr 3, 2023 to Mar 28, 2024
- Employees · 18 to 19Apr 3, 2023 to Mar 28, 2024
Signals
5 dated events
- A••••• E•••••••• K••• added a KY registration at 3•••• A•••• M••••••••• L•Sep 17, 2026 · New state registration · fact
- 3•••• A•••• M••••••••• L• reported RAUM $1.7B, up 25% from $1.3B (2024-11-14 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Brook Jonathan Cressy (Limited Partner) appeared on Schedule A of 3•••• A•••• M••••••••• L•Mar 28, 2024 · Control person joined · fact
- Lawrence Eric Biegeleisen (Limited Partner) appeared on Schedule A of 3•••• A•••• M••••••••• L•Mar 31, 2022 · Control person joined · fact
- A•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 20, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 844-903-3343reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3EDGE-ASSET-MANAGEMENT-LPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 3edgeetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 844-903-3343reportedpublic record, Form ADV, Apr 7, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026